Admin20, Rcs, Part 1, Introduction
Records Control Schedule
VB-1, Part I, Field
Veterans Benefits Administration
Washington, DC 20420
January 31, 2014
Records Control Schedule VB-1, Part I, Field
1. Attached is a revision of Part 1, "Field", Veterans Benefits Administration Records Control Schedule VB-1.
2. RESCISSION: RCS VB-1, Part 1, dated November 4, 1997.
3. The following Item numbers have been changed:
Item NumberDescription
03-028.000Master Index File
03-140.100Deceased Veterans Claims (XC) Files
03-140.200Inactive separated XC-folders
03-199.300Other Documentation
03-200.000XC-folders relating to Relocation of Active Records (ROAR)
07-620.042Registers, appointments logs, supervisory logs, lists diaries, and/or other suspense material used as processing or scheduling controls.
07-690.050Veterans Job Training and the Service Members Occupational Conversion and Training Act of 1992 (SMOCTA) Folders
08-047.000 IVM Worksheets
12-060.000 Requests for Certificate of Eligibility (COE) File
13-034.000Requests for publications and photographs including applications and requests made and by letter and acknowledgements and replies including the following: All originals and/or copies of letters, memoranda, correspondence, or any other types of forms that are used within the agency, between VA and other agencies, from service organizations, Veterans, etc., in requesting copies of publications
4. The following Item numbers have been added:
Item NumberDescription
07-701.000Claimants found not eligible: Applications, records, and supporting documentation for Veterans under Chapter 31, Chapter 36, and another VA Education benefit, and dependents under Chapter 35 or Chapter 18.
07-702.000Other Documents and Returned Mail: Original documents submitted in support of a claim such as marriage and birth certificates, medical records, and military discharge certificates.
07-703.000Electronic Records: Records on electronic and portable media documenting professional counseling, evaluation, program supervision, and rehabilitation services for Veterans under Chapter 31, Chapter 36, or another VA Education benefit, and dependents under Chapter 35 or Chapter 18.
07-704.000Chapter 18 Counseling/Evaluation/Rehabilitation (CER) Folders
07-705.000Contractor‘s Chapter 31 Veterans Records
07-706.000Supporting Documentation Maintained in VR&E
Central Office on Administrative Reviews and Advisory Opinions on a Veteran’s Case
09-900.000 Hard Copy Printouts to Meet Ad Hoc Business Needs
12-100.210Safekeeping File Instruments
13-065.100Paid Overtime
13-065.200Compensatory Time
5. The following Item numbers have been deleted:
Item NumberDescription
03-028.500Microfilm of Insurance Master Index File maintained in VARO&IC Philadelphia.
03-038.004Records of receipt and routing of incomingand outgoing mail and items handled by private delivery companies
03-149.000Originals and copies of documents labeled “For Official Use Only” and documents classified as “Confidential” or “Secret” furnished to VA by the Department of Defense on individual cases for use in determining eligibility of claimants for VA benefits, including reports of investigation and determinations as to loyalty, line of duty, character of discharge, and similar documents.
03-163.00Equipment Holdings Data File.
03-177.120Telephone Work File. Numerical listings of telephones, alphabetical telephone listings, changes to telephone listings and charts or other material showing distribution of phones by number, type, and location, and related material.
03-194.100Routine and fast response inquiries and replies including record printouts generated from the insurance system as a result of index and locator transactions, EXLUDING copies authorized for filing in Veterans folders.
03-194.200Inquiries with no response.
03-194.300Error messages.
03-194.400System-generated messages.
06.001.000Veterans Services record card files maintained at Veterans Services locations, including VA medical centers:
06-001.100Cards on individual Veterans include pertinent service data, file number and insurance number, services provided to claimants or potential claimants, including hospitalized and/or institutionalized Veterans.
06-017.000Locator Index, VA Form 27-3525.
06-026.000Suspension of Payment Control File. Record of each case in which payments to a fiduciary are suspended upon the request of the Veterans Services Officer because of the improper administration of the estate of a Veteran or for other reasons relating to the guardianship of the case.
06-028.210Originals.
07-600.012Routine Material.
07-620.041Control Cards28-0504, Counseling Controls Card. (These are no longer used, as of when CWINRS was instituted in 2001)
07-690.051Folders on Veterans who enter training.
07-690.052Folders on Veterans who applied but did not enter training.
07-690.053Folders on Veterans whose training was terminated by death.
07-690.054Houston Regional Office: Veterans Job Training Act-Payment Folders containing VA Forms 22-8930, Notice of Intent to Employ a Veteran; 22-8929, Certification of Training; printouts of JOBS screens in Target; and related correspondence.
07-690.060Employer Job Training Approval Folders:
07-690.061Folders on employers who hired a Veteran within the prescribed time period.
07-690.062Folders on employers who did not hire a Veteran within the prescribed time period.
07-690.070Employer Job Training Disapproval Folders.
07-690.080Employer Job Training Number Logs.
07-690.090Listing of Veterans denied delimiting date extensions under 38 U.S.C. 1662(a)(3).
07-691.000SEP (Special Evaluation Pension) Folders (chapter 15). Records documenting professional counseling, evaluation and program supervision afforded applicants for vocational training under chapter 15. Includes documents reports, etc., used by Vocational Rehabilitation and Counseling staff members in the supervision and reporting on program participants; records relating to the Veteran's disability rating; prior education and training; personal information on Veteran; material related to evaluation of the Veteran's eligibility for, entitlement to and potential to succeed in a program of vocational training; Individualized Written Rehabilitation Plans; authorizations and certifications of program services; progress reports; supervision contacts and related material.
07-693.030Folders on persons whose death was in service and was service-connected and a written request has been received for the educational death benefit.
07-694.000VA Form 5281, Application for Refund of Educational Contributions.
07-695.000Omnibus Diplomatic Security and Antiterrorism Act of 1986, PL 99-399, and Executive Order 12598 Education Folders. This statute and order extended VA education benefit eligibility to certain categories of individuals who were held captive because of their United States citizenship, residence, or relationship to the United States or family members of such persons who die in captivity. The records in question are maintained at the Baltimore Regional Office, where they are filed alphabetically by claimant name. The records contain a Department of State letter of eligibility for the benefits, application for those benefits, benefit authorization, and award letters and forms, letters to schools or training establishments and similar documents:
07-695.010Those folders on eligible persons who enter training (other than folders on cases terminated by death).
07-695.020Those folders on eligible persons who apply for benefits but do not enter training.
07-695.030Those folders on eligible persons who terminate training by death.
07-696.000Education Master Record Tapes: (formerly RCS 30-1, Part B, Item No. 07E, 1)
07-696.001Magnetic tapes containing the updated Educational Benefits Master records data.
07-696.002Magnetic tapes containing the updated general ledger and subsidiary accounts data.
07-696.010Transaction tape record: (formerly RCS 30-1, Part B, Item No. 07E, 2)
07-696.011Magnetic tapes containing edited and formatted data which are introduced into the system for creating new or updating existing educational benefits master records.
07-696.012Magnetic tapes containing fiscal and account- ting transactions data used for updating accounting records, producing general ledger entries, journal actions and preparation of payment transactions and related supporting documents.
07-696.020Magnetic tapes containing raw input data and/or data which are sorted, edited or reformatted for use in subsequent processing runs: (formerly RCS 30-1, Part B, Item No. 07E, 3)
07-696.021Magnetic tapes containing input data as initially converted from hard copy input documents.
07-696.022Magnetic tapes containing data from processing the initial control run for record formatting and editing.
07-696.023Magnetic tapes containing transactions which have been initially processed to establish controls, format the records and perform edits and which are used as input to subsequent sequential processing steps.
07-696.024Magnetic tapes containing accepted input trans- actions (EXCEPT FISCAL), reinsert and recycled master records which are to be edited and validated including substituting data for blank or invalid fields.
07-696.025Magnetic tapes containing edited transactions which do not hit a master record and are saved and recycled in a subsequent cycle.
07-696.026Magnetic tapes containing edit errors, messages, replies to inquiries, accounting, and miscellaneous which are to be sorted for input to the education output processing run.
07-696.027Magnetic tapes containing data extracted from input transactions for use in creating AMIS activity segments.
07-696.028Magnetic tapes containing data used to produce checks and Certificates of Attendance tapes to be sent to the RPO.
07-696.030Magnetic tapes containing extracted data and/or tapes used to produce punched cards, error messages, letters, reports and listings: (formerly RCS 30-1, Part B, Item No. 07E, 4)
07-696.031Magnetic tapes containing data used to print letters sent to beneficiaries.
07-696.032Magnetic tapes containing transaction data rejected during edit or audit processing and used to prepare error messages and record write outs.
07-696.033Magnetic tapes containing transactions and selected data which are used to prepare listings and reports.
07-696.034Magnetic tapes containing the Transaction Register for the cycle processing of run 21-435.
07-696.035Magnetic tapes containing samples of education transactions extracted from the accepted transactions processed.
07-696.036Magnetic tapes containing data used to prepare voucher lists of all checks $5,000 and over and recurring payments.
07-696.040Magnetic checkpoint tapes reflecting the core memory and the status of all records in a specific run at a specific processing point. (formerly RCS 30-1, Part B, Item No. 07E, 5)
07-696.050Transaction Registers (ED TRAIL PL 358) (formerly RCS 30-1, Part C, Item No. 07E, 1):
07-696.051Paper listings showing the results of ADP system processing of both external input and internally generated actions and reflecting the current status of the Education System master magnetic tape records.
07-696.052Microfilm Transaction Registers. Microfilm showing, in listing format, the results of ADPsystem processing of both external input and internally generated actions and reflecting the current status of the Financial Benefits ADP Subsystem's Education master automated records.
07-696.060Payee Registers (STAELIST). Listing of Payees paid on monthly cycles under Public (formerly RCS 30-1, Part C, Item No. 07E, 2)
07-696.070Paper tapes, including magnetic disks, teletype tapes, etc. (formerly RCS 30-1, Part C, Item No. 07E, 3)
07-696.080Adjudication End Products Control System-- Input documents used to record the establishment and/or disposition of Adjudication End Product claims and issues. (formerly RCS 30-1, Part C, Item 07L)
07-697.000Status Card files. Punched cards containing data extracted from basic documents relating to: Veterans who apply for benefits under provisions of 38 U.S.C. Ch. 31 and section 12(a), Public Law 85-857; Veterans who are counseled or enter training under provisions of 38 U.S.C. Ch. 33; each orphan who is provisionally approved, disallowed, or enters training under 38 U.S.C. Ch. 35; and to schools and training establishments. (formerly RCS 30-1, Part A, Item 07B)
07-697.010Retired file. Record of Veterans whose training has terminated and whose R&E folders have been destroyed or retired to a Federal Records Center (FRC).
07-697.020Chapter 33, Title 38, U.S.C. (PL 550) Training Status file (TERMINATED):
07-697.021Retired file. Record of Veterans whose training has terminated and whose folders have been retired to a FRC.
07-697.022Counseling file. Record of each completed counseling under PL 550.
07-697.023History file. Sampling record of completed history of Veterans training under PL 550.
07-697.500Transaction Registers (PL 16 and 894) (formerly RCS 30-1, Part C, Item 07B):
07-697.501Microfilm Transaction Registers. Microfilm showing, in listing format, the results of ADP system processing of both external input and internally generated actions and reflecting the current status of the Financial benefits ADP Subsystem's Vocational Rehabilitation and Employment (VRE-Veterans in training under PL 16 and 894) master automated records.
07-697.502Conversion Registers (PL 16 and 894), paper listings of account data as initially recorded on magnetic tape.
07-698.000Mechanized (EAM) System's Punched Card files converted to magnetic tape for computerized operations and maintenance, including but not limited to VR&E Training Status files, in training and terminated under 38 U.S.C. ch. 35 (PL 634 and PL 86-785), Portfolio Loan Accounting Punched Cards and Fiscal and Accounting Punched Card files. (formerly RCS 30-1, Part A, Item 30B, 1).
07-698.001Mechanized Portfolio Loan Accounting Punched Cards and Fiscal and Accounting Punched Cards requiring audit.
07-698.002All other punched card files.
07-698.100Ongoing ADP Systems Input media, including mark sensed card files, punched card files and other type files used solely as the raw input media for ongoing systems: (formerly RCS 30-1, Part A, Item 30B, 2)
07-698.101Mark Sensed Card files.
07-698.102All other type files.
07-700.000Education Loan Records:
07-700.100Documentation (includes Education Loan Data Base Corrections): Data systems specifications, file specifications, codebooks, record layouts, user guides, output specifications, and final reports (regardless of medium) relating to a master file or data base that has been authorized for destruction by the GRS or a NARA- approved disposition schedule.
07-700.200Print file (includes Reports of Federal Employee/Card Matches with Education Loans, and Education Loan Letters Due Reports and Reminder Letters Due Reports). Electronic file extracted from a master file or data base without changing it and used solely to produce hard-copy publications and/or printouts of tabulations, ledgers, registers, and statistical reports.
07-700.300Accountable Officers’ Files [includes Education Loan System Fiscal Audit Trail Files, and Education Loan Payments Received (microfilm)]. Original or ribbon copy of accountable officers’ accounts maintained in the agency for site audit by GAO auditors, consisting of statements of transactions, statements of accountability, collection schedules, collection vouchers, disbursement schedules, disbursement vouchers, and all other schedules and vouchers or documents used as schedules or vouchers, exclusive of commercial passenger transportation and freight records and payroll records, excluding accounts and supporting documents pertaining to Native Americans. If VA is operating under an integrated accounting system approved by GAO, certain required documents supporting vouchers and/or schedules are included in the site audit records. These records document only the basic financial transaction, money received and money paid out or deposits in the course of operating the agency. All copies except the certified payment or collection copy, usually the original or ribbon copy, and all additional or supporting documentation not involved in an integrated system are not covered by this item.
07-700.400Backup of Files (includes Education Loan System Backup Tapes). Electronic copy, considered by VA to be a Federal record, of the master copy of an electronic record or file and retained in case the master file or database is damaged or inadvertently erased. File identical to records authorized for disposal in a NARA-approved records schedule.
07-700.500Accounting Administrative Files (includes IRS Referrals & Updates for Education). Correspondence, reports, and data relating to voucher preparation, administrative audit, and other accounting and disbursing operations. These files are not used for workload and personnel management purposes.
08-003.000Microfiche file copies of letters generated by Hines Information Technology Center (HITC) during the running of certain special projects, to be selected by the 2.
08-017.000Work Measurement File. End product classification record (tabulating card) which reflects work measurement data used in preparation of operating performance report.
08-047.100IVM Control Log.
08-048.000Pending Claims (Issue) Control Files. (Formerly RCS 30-1, Part A, Item 07A, 3)
08-049.000Magnetic transaction tapes containing data that are introduced into the ADP system for originating a master record or changing an existing master record.
08-050.000Magnetic pay master tapes containing payment data for producing monthly compensation and pension checks.
08-051.000Magnetic pay changes tapes used as input for updating pay master tapes.
08-052.000Magnetic irregular and retroactive payment tapes containing payment data for producing irregular and retroactive compensation and pension checks.
08-053.000Magnetic tapes containing terminated, disallowed, and notice of death data.
08-054.000Magnetic canceled check file tapes containing data on all canceled and returned checks.
08-055.000Magnetic canceled check input tapes used for updating canceled check file tapes.
08-056.000Magnetic tapes used for producing printouts or writeouts.
08-057.000Magnetic test tapes consisting of tapes required for conversation processing or normal processing, and used for comparison, performance, or other testing purposes.
08-058.000Magnetic tapes used as input for sort runs.
08-059.000Magnetic tapes used as input for merge runs.
08-060.000Checkpoint tapes reflecting the memory core and the status of all records at processing checkpoints.
08-060.001Daily checkpoint tapes.
08-060-002Monthly checkpoint tapes.
08-061.000Magnetic tapes used as input to update master tapes containing statistical and payment data for converted compensation and pension accounts at the end of the month.
08-062.000Magnetic tapes returned from VA security depository.
08-063.000Magnetic tape files produced annually by consolidating all C&P AIQ records processed through the Philadelphia DPC during each year’s questionnaire projects.
08-064.000Veteran Service Center end products control system.
08-064.001Disk packs, containing adjudication end product control system records data.
08-064.010Magnetic tape files, pending control record tape files containing a record for each pending adjudication end product; each record containing the following segments: station number, name, file number, dependents suffix, end product code, date received in VA, control code, suspense date, organization code, and selection cycle.
08-064.011Magnetic tapes created in update run 07LUPA, containing the updated pending control file with additions and changes resulting from update processing; input to diary processing run 07LDR.
08-064.012Magnetic tapes created in diary processing run 07LDR, containing the final updated pending control file with control code changes; input to Sort Runs 07LS2 or 07LS5.
08-064.013Magnetic tapes created in end-of-month sort run 07LS5, containing the final pending control file processed during the fourth processing cycle of each calendar month, disk sorted to ensure proper sequence; input to end-of-month pending file processing run 07LPN.
08-064.014Magnetic tapes created in sort run 07LS2, containing pending control records which have been sorted in sequence by date received in VA, end product code, file and station number; input to Update Run 07LUP.
08-064.020Transaction tape files:
08-064.021Input transaction-CTT tape files, created in card-to-tape run 07LCT, containing adjudication pending, change and complete input transactions data; input to sort run 07LS1.
08-064.022Key entry tape files, containing adjudication pending and complete input transactions data, type 1, 3, and 5; input to sort run 07LS1 and/or CTT run 07LCT.
08-064.023Sorted input transaction tape files, created in sort run 07LS1, containing input transaction data sorted in batch and station number sequence; input to edit run 07LED.
08-064.024Transaction 1, 2 and 3 tape files, created in edit run 07LED, containing a file of accepted transaction types 1, 2, and 3, edited for processing in subsequent computer runs; input to sort run 07LS2A.